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Substitute for form 1449A/PTO 

INFORMATION DISCLOSURE 
STATEMENT BY APPLICANT 



(use as many sheets as necessat 




Application Number 



Filing Date 



First Named Inventor 



Art Unit 



Examiner Name 



Complete if Known 



09/387,747 



August 31, 1999 



Bowman-Amuah 



Receive: i) 



2122 



APR 1 7 ?nn > 



Todd Ingberg 



Techno, 



uyy£enier2ioo 



Sheet 



of 



rney Docket Number 



AND1P229 



Examiner 
Initials* 



NT DOCUMENTS 



Cite 
No. 1 



Document Number 



Number -Kind Code (if known) 



Issue Date 
MM-DD-YYYY 



Name of Patentee or 
Applicant of Cited Document 



US-4,558,413 



12/10/1985 



Schmidt et al. 



US-4,809,170 



12/28/1989 



Leblang et al. 



US-4,9 12,637 



03/27/1990 



Sheedy et al. 



US-5,278,979 



01/11/1994 



Foster et al. 



US-5,473,777 



12/05/1995 



Moeller et al. 



US-5,475,845 



12/12/1995 



Orton et al. 



US-5,577,209 



11/19/1996 



Boyle et al. 



US-5,724,589 



03/03/1998 



Wold 



US-5,752,034 



05/12/1998 



Srivastava et al. 



10 



US-5,752,034 



05/12/1998 



Srivastava et al. 



11 



US-5,764,973 



06/09/1998 



Lunceford et al. 



12 



US-5,787,280 



07/28/1998 



Joseph et al. 



13 



US-5,805,889 



09/08/1998 



Van De Vanter 



14 



US-5,805,899 



09/08/1998 



Evan et al. 



15 



US-5,835,911 



11/10/1998 



Nakagawa et al. 



16 



US-5,862,386 



01/19/1999 



Joseph et al. 



17 



US-5,884,078 



03/16/1999 



Faustini 



18 



US-5,893,905 



04/13/1999 



Main et al. 



19 



US-5,905,715 



05/18/1999 



Azarmi et al. 



20 



US-5,960,196 



09/28/1999 



Carrier III et al. 



21 



US-5,974,428 



10/26/1999 



Gerard et al. 




11/16/1999 



Freund 



Examiner Signature 



Date Considered 



♦EXAMINER: Initial if reference consi|lere(£i*fl^Pi€r or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not considered. Include 
copy of this form with next com muni can on to applicant. 

'Applicant's unique citation designation number (optional). 2 See Kinds Codes of USPTO Patent Documents at www.uspto.Kov or MPEP 901 .04. ''Enter Office that issued the 
document, by the two-letter code (W1PO Standard ST.3). "For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the 
patent document. 5 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST. 16 if possible. 6 Applicant is to place a check mark here if 
English language Translation is attached. 



Substitute for form 1449A/PTO 

INFORMATION DISCLOSURE 
STATEMENT BY APPL_. V ^, ^ 

(use as many sheets a J necessary* 



Application Number 



Filing Date 



First Named Inventor 



Art Unit 



Examiner Name 



Complete if Known 



09/387,747 



August 31, 1999 RFPg\/t :p 



Bowman-Amuah 



2122 



*M 1* 20 1? 



Todd Ingberg 



T$r,hnoh 



QflyCente/ 2700 



Sheet 



of 



Attorney Pocket Number AND1P229 



U.S. Patent documents 



Examiner 
Initials* 


Cite 
No. 1 


Document Number 

KInmKw»r i n H frtrf**^ (if tnnwnl 
PIUIUUCI "J\II1U V^UUC ^11 M1LFWU J 


Issue Date 
MM-DD-YYYY 

IVllvI L/ 1—' 1111 


Name of Patentee or 
Applicant of Cited Document 




23 


US-6,070,190 


05/30/2000 


Reps et al. 






24 


US-6, 148,337 


11/14/2000 


Estberg et al. 






25 


US-6, 15 1,700 


11/21/2000 


Fox 






26 


US-6, 170,081 


01/02/2001 


Fontana et al. 






27 


US-6, 173,439 


01/09/2001 


Carlson et al. 






28 


US-6,256,773 


07/03/2001 


Bowman-Amuah 




29 


US-6,324,647 


11/27/2001 


Bowman-Amuah 



FOREIGN PATENT DOCUMENTS 



Examiner 
Initials* 



Cite 
No. 1 



Foreign Patent Document 



Country Code'-Number'-Kind Code* (if 
known) 




Publication Date 
MM-DD-YYYY 



Name of Patentee or 
Applicant of Cited Document 



30 



Examiner Signature 



WO 01/1 67 

Z 



'/08/20ftl 



Date Considered 



Andersen Consulting (Accenture LLP) 

EM 

line through ci 



♦EXAMINER: Initial if reference consj^igffV/ietrle'r ir not c/S/ioiy£/i conformance with MPEP 609. Drawl ine through citation if not in conformance and not considered. Include 
copy of this form with next communication to applican(. 

'Applicant's unique citation designation number (optional). Wee J^fSs Codes of USPTO Patent Documents at www.uspto.gov or MPEP 901 .04. 3 Enter Office that issued the 
document, by the two-letter code (WIPO Standard ST.3). "For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the 
patent document. 5 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST. 16 if possible. 6 Applicant is to place a check mark here if 
English language Translation is attached. 



Substitute for form 1449B/PTO 

INFORMATION DISCLj 
STATEMENT BY AP 




Complete if Known 



Application Number 



Filing Date 



First Named Inventor 



(use as many sheets as vece^ffiyh 5 Cf> 



Group Art Unit 



Examiner Name 



09/387,747 



August31 ) 1999 RECEIVED 



Bowman-Amuah 



2122 



APR I 7 mi 



Todd Ingberg Technology for)fe r O j 



Sheet 



of 



Attorney Docket Number 



ANDIP229 



OTHER PRIOR ART - NONPATENT LITERATURE DOCUMENTS 



Examiner 
Initials 



Cite 
No.' 



Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item (book, 
magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue number(s), publisher, city and/or 

country where published 



31 



ADDELSTON, J., "Business Benefits of Software Process Improvement 
(SPI)," PRC's Technology Transfer, Vol. 6, No. 6, pages 14 & 15 (12/94). 



\ 



32 



ADDELSTON, J., "Capability Maturity Model is Used for Appraisal and 
Process Improvement," PRC's Technology Transfer, Vol. 4, No. 1, pages 14, 15 
& 17(02/92). 



33 



ADDELSTON, J., "PRC's Perspective on Software Engineering," PRC's 
Technology Transfer, Vol. 4, No. 4, pages 2-5, & 16 (08/92) 



34 



ADDELSTON, J., "SEI Updates Its Capability Maturity Model," Vol,. 2, No. 4, 
pages 6 & 7 (10/90). 



35 



ADDELSTON, J., "SEI's Software Capability Evaluation Changing to Meet 
User's Requirements," Vol. 5, No. 6, pages 10-12 (12/93). 



36 



ADDELSTON, J., "Software Engineering Process Definition," PRC's 
Technology Transfer, Vol. 4, No. 4, pages 12-14, 18 (08/92). 



ADDELSTON, J., "Software Engineering," PRC's Technology Transfer, Vol. 
4, No. 2, pages 8, 9 & 17 (05/92). 



38 



ADDELSTON, J., "Software Process Definition and Improvement 
Approaches," PRC's Technology Transfer, V2, No. 5, pages 4,5, & 16 (12/90). 



39 



ADDELSTON, J., "Software Quality Estimation and Planning," PRC's 
Technology Transfer, Vol. 3, No. 1, pages 4-6, 12-13 (2/91). 



40 



BICKNELL, B.A. et al., "The Road Map to Repeatable Success, Using QFD to 
Implement Change," (1995). 



BIEMAN, J., "Software Metrics: A Rigorous & Practical Approach," 2" d Ed., 
IBM System Journal, pages 1-3 (1997) 



41 



BINDER, R.V., "Can a Manufacturing Quality Model Work for Software?, 
IEEE Software (1997), pages 101, 102 and 105. 



42 



43 



BOEHM, B., "Software Engineering Economics," Chapter 4, 32 (1981). 





Examiner 
Signature 



Date 

Considered 



\ 



♦EXAMINER: Initial if referenfe consttredj/yh^ther or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and 
not considered. Include copy of this fjMrn wirfnext communication to applicant. 

'Applicant's unique citation designation number (optional). 2 Applicant is to place a check mark here if English language translation is attached. 



Substitute for form 1449B/PTO 

INFORMATION DISCLOSURE 
STATEMENT BY APPLIOtfT" p 



(use as many sheets as necissary) 




Complete if Known 



Application Number 



Filing Date 



First Named Inventor 



Group Art Unit 



Examiner Name 



09/387,747 



August 31, 1999 RECBVEC 



Bowman-Amuah 



2122 



T7UUZ 



Todd Ingberg 



Techno logy Center 2 ft ]Q 



Sheet 



of 



ii y Attorney Docket Number AND1P229 



OTHER 



ONPATENT LITERATURE DOCUMENTS 



Examiner 
Initials 


Cite 
No. 


Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item (book, 
magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue number(s), publisher, city and/or 

country where published 


i 




44 


CARMODY, C, "Better, Faster, Cheaper - The Goal of The Software 
j^ngineenng core ^oiupeicncy, rivx, s lecnnoiogy iranbier, voi. /,ino. i, 
pages 2 & 3 (02/95). 




\ 




45 


CARMODY, C, "Software Process Improvement Program Update," PRC's 
Technology Transfer, Vol. 6, No. 4, pages 8, 9 & 16 (08/94). 








46 


CHEONG, Y.C. et al., "Framebased Method For Customizing Generic 
Software Architecture," SSR ACM, pages 103-1 12 (01/99). 








47 


CONRADI, R. et al., "Version Models For Software Configuration 
Management, ACM Computing Survey, Vol. 30, No. 2, pages 231-282 (06/98). 








48 


CONTINUUS SOFTWARE CORPORATION, "Administration Handbook," 
version 4.1 (1996). 








49 


CONTINUUS SOFTWARE CORPORATION, "Command Reference," pages 
21-23, released 1996. 








50 


CONTINUUS SOFTWARE CORPORATION, "Continuus Distributed CM," 
cover of manual (1997). 








51 


CONTINUUS SOFTWARE CORPORATION, "Continuus Task Based CM," 
cover of manual (1997). 








52 


CONTINUUS SOFTWARE CORPORATION, "Continuus/CM Live! From 
Planning to Production," (1997). 








53 


CONTINUUS SOFTWARE CORPORATION, "Continuus/Problem Tracking 
Task Reference," (1997). 








54 


CONTINUUS SOFTWARE CORPORATION, "Introduction to 
Continuus/CM 4.1," pages 1-85, released 1996. 








55 


DIAZ, M. et al., "How Software Process Improvement Helped Motorola," IEEE 
Software, (1997), pages 75-81. 




j 




56 


DUTOIT, A. et al., "The Basic Object System: Supporting a Spectrum From 
Prototypes to Hardened Code," ACM Sigplan Notices, US, Assoc. For 
Computing Machinery, NY, Vol. 31, No. 10 (10/01/96), pages 104-121. 






57 


JATjjtLEJY^., "Software Engineering Concepts," Chapter 1-9 (1985). 




Examiner f 
Signature ( ^ fl/i 


^WT f~~J\~^S^ Considered I 1 7 / V 5^ 



♦EXAMINER: Initial if reference cofo&dtfred, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and 
not considered. Include copy of thisWorm with next communication to applicant. 

'Applicant's unique citation designation number (optional). 2 Applicant is to place a check mark here if English language translation is attached. 



Substitute for form 1449B/PTO 

INFORMATION DISCLOSURE 
STATEMENT BY APPLIC^^f* [ p 



(use as many sheets as necessary) 




Complete if Known 



Application Number 



Filing Date 



First Named Inventor 



Group Art Unit 



Examiner Name 



09/387,747 r>r-^, 

August 31, 1999 f 'f-VCIVtU 



Bowman- Am uah 



2122 



Todd Ingberg 



Technology 



writer 2iqq 



Sheet 



of 



Attorney Docket Number | AND1P229 



OTHER P 



ONPATENT LITERATURE DOCUMENTS 



Examiner 
Initials 



Cite 
No. 1 



Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item (book, 
magazine, journal, serial, symposium, catalog, etc), date, page(s), volume-issue number(s), publisher, city and/or 

country where published 



58 



FERRI, R. et al., "Software Reuse Metrics for an Industrial Project," IEEE, 
pages 165-173 (1997). 



59 



GRINTER, R.E. et al., "Understanding The Role of Configuration 
Management Systems In Software Development," CHI, pages 39-40 (04/96). 



60 



GUENTERBERG, S., "Key Process Area Training - An Integrated, Innovative 
Approach to Institutionalizing Process Management Techniques," PRC's 
Technology Transfer, pages 13 & 15 (04/95). 



61 



HALL, F.M., "Army Software Metrics Training," IEEE, page 588 (1997). 



62 



HALL, T. et al., "Implementing Effective Software Metrics Program," pages 
55-65 vol. 1, Number 1, pages 1, 4-5 & 7. 



63 



HERNDON, J., "PRC's Software Process Improvement Program," PRC's 
Technology Transfer, Vol. 5, No. 3, pages 1-3, 18, 19 (06/93). 



64 



HICKS, D.L. et al., "A Hypermedia Version Control Framework," ACM 
Transactions on Information Systems Vol. 16, No. 2, pages 127-160 (04/98). 



65 



HUMPHREY, W.S., "Managing the Software Process," Software Engineering 
Institute, published 1980 (reprint 1990), Chapters 1-20. 



IEEE, The Authoritative Dictionary of IEEE Standards Terms, "^Ed., pages 
691. 



66 



IEEE, The IEEE Standard Dictionary of Electrical and Electronics Terms, 6 
Ed., (04/08/97), pages 651, 849, 850, 1006-1009. 



67 



68 



JEZEQUEL, J.-M., "Reifying Configuration Management For Object Oriented 
Software," IEEE, pages 240-249 (1998). 



69 



KHOSHGOFTAAR, T. et al., "The Impact of Costs of Misclassification in 
Software Quality Modeling," IEEE, pages 54-62 (1997). 




Date 

Considered 



2 



♦EXAMINER: Initial ifreferenje considjfaG, vylftJther or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and 
not considered. Include copy of this fornrwith next communication to applicant. 



'Applicant's unique citation designation number (optional). 2 Applicant is to place a check mark here if English language translation is attached. 



Substitute for form 1449B/PTO 

INFORMATION DISCLOSU 
STATEMENT BY APPLI 

(use as many sheets as ne< 




Complete if Known 



Application Number 



Filing Date 



First Named Inventor 



Group Art Unit 



Examiner Name 



09/387,747 ng - ■ 

August 31, 1999 ' itCdVfcD 



Bowman-Amuah 



2122 



7 ?(,!) > 



Todd Ingberg 



Tochno; m center, 



100 



Sheet 



of 



Attorney Docket Number AND1P229 



OTHER 



NONPATENT LITERATURE DOCUMENTS 



Examiner 
Initials 



Cite 
No. 1 



Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item (book, 
magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue number(s), publisher, city and/or 

country where published 



70 



KNUEVEN, J., "Improving The PRC Software Development Process," PRC's 
Technology Transfer, Vol. 1, No. 1, pages 1, 4, 5 & 7 (10/89). 



71 



KOKOL, D. et al., "Software Complexity Metric With The Critical Value," 
pages 494-499(1997). 



72 



LEHMAN, M. et al., "Metrics and Laws of Software Evolution - The Nineties 
View," IEEE, pages 20-32 (1997). 



73 



LIN, Y.-J. et al., "Configuration Management with Logical Structures,' 
Proceedings of ICSE-18, IEEE, pages 298-307 (1996) 



74 



LUCERO, D., "Software Measurement in The US Army", IEEE, pages 589-590 
(1997). 



75 



MARTIN, J., Principles of Object-Oriented Analysis and Design, Prentice-Hall, 
1992. 



76 



MAURICE, F. et al., "Evaluation and Improvement of Software Products and 
Processes Based on Measurement," pages 108-1 1 1 (1997). 



77 



MCGIBBON, B., "Managing Your Move to Object Technology," Chapter 4, 
September 22, 1995. 



MCVICAR, D., "The CMM Common Feature Profile," Vol. 6, No. 6, pages 16 
& 17(12/94). 



78 



79 



MICROSOFT CORPORATION, Premier Support For The Enterprise, 
(06/1 8/00) http://channels microsoft.com/support/customer/basent_support.htm. 



80 



MICROSOFT CORPORATION, User's Guide For Microsoft Project for 
Windows 95 and 3.1 (1995). 



81 



O'NEIL, J., "Benefits from Commitment to Quality Improvement," PRC's 
Technology Transfer, Vol. 5, No. 5, pages 8, 9 & 15 (10/93). 



82 



OCHUODHO, S.J. et al., "A Process Oriented Version And Configuration 
Management Model For Communication Software," ACM, pages 109-120 





Examiner 
Signature 



Date 

Considered 



♦EXAMINER: Initial ifViirence q|bnsidered/#hetk€r or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and 
not considered. Include copy of this form with next communication to applicant. 

'Applicant's unique citation designation number (optional). 2 Applicant is to place a check mark here if English language translation is attached. 



Substitute for form I449B/PTO 

INFORMATION DISCL 
STATEMENT BY APR 

(use as many sheets as 




Complete if Known 



Application Number 



Filing Date 



First Named Inventor 



Group Art Unit 



Examiner Name 



09/387,747 



August 31, 1999 RECEIVE!) 



Bowman-Amuah 



2122 



fl p ft x r loot 



Todd Ingberg 



00 



Sheet 



of 



Attorney Docket Number AND1P229 



OTHER P 



RT- NONPATENT LITERATURE DOCUMENTS 



Examiner 
Initials 



Cite 
No.' 



Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item (book, 
magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue number(s), publisher, city and/or 

country where published 



83 



ODA, K., "Software Metrics From P2851," PRC's Technology Transfer, Vol. 3, 
No. 7, pages 4-6(12/91). 



84 



OFFEN, R. et al., "Establishing Software Measurement Programs,:" IEEE 
Software, 1997, pages 45-53. 



85 



PAULK, M. et al., "Capability Maturity Model," version 1.1, Tech. Rpt. 
CMU/SEI-93-TR-024, pages 1-63. 



86 



PETERSON, M. et al., "DOD IM's Approach to Process Improvement," PRC's 
Technology Transfer, Vol. 7, No. 4 pages 4 &9 (08/95). 



87 



PFLEEGER, S. et al., "Status Report on Software Measurement," IEEE 
Software, pages 33-43, 1997. 



88 



RENDER, H. et al., "An Object Oriented Model of Software Configuration 
Management," ACM, pages 127-139 (05/91). 



89 



SCHAPPERT, A. et al., "Automated Support For Software Development With 
Frameworks," Association of Computing Machinery, 1995 SSR, Seattle, pages 
123-127 (01/95). 



90 



SCHNEIDEWIND, N., "Software Metrics Model for Integrating Quality and 
Prediction," IEEE, pages 402-4 1 5 ( 1 997). 



91 



SCHNEIDEWIND, N., "Software Metrics Model for Quality Control," IEEE, 
pages 127-136(1997) 



92 



SCHUSTER, H. et al., "A Configuration Management Approach For a Large 
Workflow Management Systems," ACM WACC, pages 177-186 (08/99). 



93 



SMITH, D., "Software Process Improvement Symposium," PRC's Technology 
Transfer, Vol. 5, No. 6, pages 14 & 16 (12/93) 



94 



"Software Engineering Institute Visits PRC to Study Process Improvement 
Methods," Directions, pg. 3 (07/96). 



95 



TAYLOR, D., Object-Oriented Information Systems: Planning and 
Implementation, John Wiley & Sons, Inc., 1992. 




[M5 



Examiner 
Signature 



Date 

Considered 



♦EXAMINER: Initial if reference considered whejnaf or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and 
not considered. Include copy of this form with naw^ommunication to applicant. 

'Applicant's unique citation designation numbe/(optional). 2 Applicant is to place a check mark here if English language translation is attached. 



* 4* 


Substitute for form 1449B/PTO 

INFORMATION DISCLOSURE 
STATEMENT BY APPLICAflTfToV. 

(use as many sheets as nedessary) *J 

L APR 1 5 2002 J 


Complete if Known 


Application Number 


09/387,747 


Filing Date 


August 31, 1999 HbCEf\ 


^ First Named Inventor 


Bowman-Amuah HDD i & 
nrri i 7 


■)\ Group Art Unit 


2122 


0 1 Examiner Name 


Todd Ingberg teChnOlOQV fani 


Sheet 8 of 8 W ^ 
1 1 1 s£ 


J 

>/ Attorney Docket Number 


AND1P229 



OTHER 



Examiner 
Initials 


Cite 
No.' 


Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item (book, 
magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue number(s), publisher, city and/or 

country where published 


T 2 




96 


VAISHNAVI, V.K. et al., "A Validation Framework For a Maturity 
Measurement Model for Safety Critical Software System," ACM, pages 314-322 
("09/98). 








97 


VISAGGIO, G., "Structural Information as a Quality Metric in Software 
Systems Organization," IEEE, pages 92-99 (1997). 








98 


ZELKOWITZ, M.V. "Use of An Environmental Classification Model," 
Proceedings of the 15 th International Conference of Software Engineers, pages 
248-357 (05/93). 






99 


ZELLER, A. "A Unified Version Model For Configuration Management," 
SIGSOFT, pages 151, 160(02/95). 






-inn , 


-StuluntiU Rcgui ding Petition to Mulfi Spm'iiilj utT 

«>6~T ComM by PTO 





Examiner 




♦Examiner: Ifu^iflc/a^j^iyconsidp 
conformance and not considered. 
'Applicant's unique citation desigft 



r or not citation is in conformance with M.P.E.P. % 609. Draw line through citation (i.e., citation ) if not in 
/of this form with next communication to applicant, 
i number (optional). 2 Applicant is to place a check mark here if English language translation is attached.